开发者:上海品职教育科技有限公司 隐私政策详情

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Oli小神仙😊 · 2025年05月10日

请问老师1是想表达什么

NO.PZ2025041601000010

问题如下:

Thomas Li, CFA, was recently hired to manage an equity fund. Li reads the following company policies regarding the dissemination of investment recommendations:Question
  • Policy 1: An analyst should limit the number of people who are privy to the fact that a recommendation is going to be disseminated.
  • Policy 2: An analyst should limit the amount of time that elapses between the decision to make an investment recommendation and the time the actual recommendation is disseminated.

To be consistent with the the Standard relating to fair dealing, Li should follow:

选项:

A.A.Policy 1 only. B.B.Policy 2 only. C.C.both Policy 1 and Policy 2.

解释:

  • demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations

有点迷惑,麻烦老师解答下,谢谢

1 个答案

王暄_品职助教 · 2025年05月12日

Policy 1的意思是分析师应该限制提前知道投资建议即将发布的人数,避免信息泄露导致不公平交易(比如有人提前建仓获利)。Policy 2的意思是分析师应缩短“决定发布建议”和“实际发布建议”之间的时间差,防止拖延导致信息过时或内部滥用。

这两条政策都符合CFA道德准则中的Fair Dealing:

Policy 1 防止少数人提前获取信息(公平性)。

Policy 2 确保所有客户同时获得最新建议(及时性)。

所以,Li应该同时遵守两条政策,选C

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